MINISTRY OF AGRICULTURE (MoA) - World Bankdocuments.worldbank.org/curated/en/... · MINISTRY OF...

MINISTRY OF AGRICULTURE (MoA)

SUSTAINABLE LAND MANAGEMENT PROJECT PHASE - II

RESETTLEMENT POLICY FRAMEWORK (RPF)

FINAL

August 28, 2013

Addis Ababa

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

Pub

lic D

iscl

osur

e A

utho

rized

SUSTAINABLE LAND MANAGEMENT PROJECT-II – RESETTLEMENT POLICY FRAMEWORK

ii

Table of Contents

ABBREVATIONS AND ACRONYMS ....................................................................................... iii

Part I: Background .......................................................................................................................... 1

Part II: Objectives of the RPF ......................................................................................................... 3

Part III: Project Description and Rationale for RPF ....................................................................... 4

Part IV: Community Consultations and Support for the Project .................................................... 5

Part V: Legal and Institutional Framework .................................................................................. 11

i) POLITICAL ECONOMY AND GOVERNANCE IN ETHIOPIA ............................... 11

iii) PROPERTY AND LAND RIGHTS IN ETHIOPIA .................................................. 14

iv) ACQUISITION AND VALUATION OF LAND AND OTHER ASSETS ............... 15

v) ENTITLEMENTS AND COMPENSATION ............................................................ 17

vi) DISPUTE RESOLUTION AND GRIEVANCE REDRESS PROCEDURES .......... 17

vii) COMPARISON TO WORLD BANK OP 4.12.......................................................... 18

Part VI: Compensation for Land and Other Assets ...................................................................... 19

Part VII: Implementation Schedule and Costs .............................................................................. 30

Table I: Indicative Outline of a RAP Budget....................................................................... 30

Part VIII: Public Consultation and Disclosure Plan ..................................................................... 32

Part IX: Monitoring and Evaluation of Impacts ........................................................................... 32

Annexes......................................................................................................................................... 35

ANNEX 1: OP 4.12 - Involuntary Resettlement ....................................................................................... 36

ANNEX 2: Sample Grievance and Resolution Form ................................................................................ 46

ANNEX 3: Sample Table of Contents for Consultation Reports .............................................................. 47

ANNEX 4: Glossary of Terms ................................................................................................................... 49

ANNEX 5: Relevant Laws ........................................................................................................................ 51

Annex 6: Community Consultation Attendance Sheet ................................................................. 54


iii

ABBREVATIONS AND ACRONYMS

ARAP Abbreviated Resettlement Action Plan

CBO Community Based Organization

CDD

CRGE

EPA

ESIA

ESMF

FPCU

GDP

GoE

GTP

M & E

MEP

MoA

NGO

OP

PAP

PASDEP

PRSP

RAP

ROW

RPCU

RPF

SIA

SLMP

SNNPRS

Community Driven Development

Climate Resilient Green Economy

Environmental Protection Authority

Environmental and Social Impact Assessment

Environmental and Social Management Framework

Federal Project Coordination Unit

Growth Domestic Product

Government of Ethiopia

Growth and Transformation Plan

Monitoring and Evaluation

Monitoring and Evaluation Plan

Ministry of Agriculture

Non-Governmental Organization

Operational Policy

Project Affected People

Plan for the Accelerated and Sustained Development to End Poverty

Poverty Reduction Strategy Paper

Resettlement Action Plan

Right of Way

Regional Project Coordination Unit

Resettlement Policy Framework

Social Impact Assessment

Sustainable Land Management Project

Southern Nations, Nationalities and Peoples Regional State


iv


1

Part I: Background Ethiopia is a country which largely depends on agriculture both for its economic growth and food

security. Out of an estimated 83 million people, close to 83% live in rural areas with agriculture (crop

production and animal husbandry) as its main source of livelihood. This means only 17 percent live in

urban centers and earn their livelihood from non-agricultural economic activities. Ethiopia’s current

development agenda is governed by the Growth and Transformation Plan (GTP), the main goal of which

is for Ethiopia to “extricate itself from poverty to reach the level of a middle-income economy by 2025.”

To achieve the GTP’s main goal and objectives, the Government of Ethiopia (GoE) has considered

internalizing the climate induced risks and has embarked on developing the Climate Resilient Green

Economy (CRGE) strategy in support of GTP. The vision of the CRGE is to achieve middle-income

status by 2025 in a climate-resilient green economy.

As alluded to in the foregoing paragraph, services provided by natural resources including agriculture and

livestock play critical role for the livelihood of a large majority of the Ethiopian population. Agriculture is

the key pillar of the economy and the most important source of growth. It accounts for almost 48% of

GDP and 85% of export earnings. Agricultural production is mostly rain-fed and dominated by small-

scale farmers and enterprises that contribute to 90% of agricultural production. Although much of the

agriculture remains for subsistence purposes, still smallholders provide a large part of traded

commodities, including for exports and about 70 percent of the raw material requirements of agro-based

domestic industries.

Agriculture, which is the critical element of economic growth and food security of the country, relies on

sustainable management of land and water. The country, however, is experiencing low and declining

agricultural productivity, persistent food insecurity, and rural poverty largely attributed to land

degradation. Studies have shown that by the mid-1980s some 27 million ha or almost 50 percent of the

Ethiopian highlands, which makes up about 45 percent of the total land area, was considered to be

significantly eroded, of this 14 million ha was seriously eroded and over 2 million ha beyond reclamation.

It is estimated that some 30,000 ha are lost annually as a result of soil erosion, representing over 1.5

billion tons of soil that is removed annually by a variety of land degradation processes.

With the geo-climatic condition, inherent soil fragility, undulating terrain, and highly erosive rainfall

Ethiopia has continually faced challenges in conserving its soil fertility. Coupled with these natural

constraints, the environmentally destructive farming methods that many farmers practice make the

country highly vulnerable to soil erosion. Moreover, some sources estimate that close to one-third of the

agricultural land is moderately to strongly acidic because of long neglect in soil conservation and

destructive farming practices. Gully formation and sedimentation at the river banks, dams and irrigation

channels are extensive.

Beside the GTP and the CRGE strategy mentioned above, the Government of Ethiopia introduced a series

of policies and institutional reforms to address these complex and diverse issues. Along with other

initiatives, the Sustainable Land Management (SLM) program through the Sustainable Land Management

Project (SLMP-I which has been operational between 2008/09 – 2012/13) has made progress in

introducing sustainable land management practices in the country. The SLMP-I has made remarkable

progress in rehabilitating targeted degraded areas, soil stabilization works (by raising and planting vetiver


2

and desho grasses), construction of cut-off drains and waterways to reduce run-off, animal manuring and

production and application of compost on farmlands and homesteads, demarcating enclosures to allow

natural regeneration to occur, rotational grazing, etc. The introduction of various homestead

improvements and income generating activities, including bee keeping and honey production using

modern beehives, livestock fattening, supply of better breeds of small ruminants and poultry, mixed

cropping on the same piece of land, small-scale irrigation, and the supply of drinking water for both

human and animal (e.g., hand-dug wells, springs) consumption have contributed towards improvement of

income and assets building at household level.

Other measures that are being widely practiced include: (i) the introduction of agro-forestry practices and

improved fodder management systems; (ii) adoption of conservation agriculture technologies such as

low/no-tillage agricultural practices; (iii) adoption of soil fertility improvement techniques through

incorporation of nitrogen-fixing leguminous plant species and use of organic manure into agricultural

systems; and (iv) introducing improved practices for grazing through rotational grazing, cut-and-carry and

animal fattening systems. In addition, the project has undertaken institutional strengthening for

implementing sustainable land management at regional, district and community level and actively

promoted homestead and cultivated land activities. In a nutshell, the overall performance of SLMP-I is

extremely encouraging, which makes not only the continuation of the project, but also its expansion a

foregone conclusion.

Therefore, the proposed SLMP-II Project will not only expand the scope of the success from SLMP-I but

also introduces measures to internalize climate change induced risks so that the investments that farmers

make will integrate climatic variability. Furthermore, the government and other stakeholders including

extension workers, community groups and NGOs would be provided with additional skills and training to

promote climate smart agriculture, integrated land management practices that internalize climate induced

risks and conservation of biodiversity and soil.

SLMP is implemented in areas where implementation, fiduciary and safeguards management capacity is

weak. Added to this, remoteness of some of the project woredas and weaker institutional capacities of the

implementing woredas and a few of the implementing regions pose difficulties in terms of providing

adequate support and supervision. Yet, the decentralized nature of project implementation places much of

the management responsibility with local governments and beneficiary communities where capacity

limitations are greatest. Moreover, the implementing woredas are located in the parts of the country

where the environment is fragile, partly natural and partly human caused. Though all sub-projects are

planned and implemented based on decisions made by the communities, OP 4.12 will be triggered. Thus,

it is critically important that a separate Resettlement Policy Framework (RPF) is prepared to guide the

implementation of mitigation measures related to land acquisition concerning component one of the

SLMP-II, namely Integrated Watershed and Landscape Management activities that may have negative

social impacts. The RPF describes the requirements to address social impacts from restrictions of access

to natural resources as per the World Bank’s involuntary resettlement policy (OP 4.12). This policy also

applies to the involuntary restriction of access to legally designated parks and protected areas resulting in

adverse impacts on the livelihoods of the displaced persons.

The RPF addresses social impacts of the SLMP-II issues of land acquisition resulting from

implementation of subproject investments that may or will result in loss of property or disturbance

affecting livelihoods. It is complemented by a Social Assessment that: assesses key socio-economic


3

factors that require consideration; identifies vulnerable and historically underserved groups that may be

exclude from the project and be adversely affected as a result, and the necessary impact mitigating

measures; assesses any potential adverse social impacts of SLMPII, and determine whether the project is

likely to trigger the World Bank social safeguards policies; and, recommends s in the early stage of

project preparation the appropriate measures towards addressing World Band requirements on social

safeguards triggered by the project (OP/BP 4.10 and OP/BP 4.12).

The Environmental and Social Management Framework (ESMF) addresses physical environment and

social impacts and can be applied together with this RPF. The SLMP-II’s implementers are responsible

for identifying and implementing investment activities. This RPF document is to be used by all

implementers of SLMP in order to ensure that all environmental and social safeguards are adequately

addressed and that the relevant capacity and training needs are established in order for the recommended

measures to be implemented effectively.

Part II: Objectives of the RPF The objectives of the Resettlement Policy Framework (RPF) are to:

1. Establish the Sustainable Land Management Project-II (SLMP-II) resettlement and

compensation principles and implementation arrangements;

2. Describe the legal and institutional framework underlying Ethiopian approaches for

resettlement, compensation and rehabilitation;

3. Define the eligibility criteria for identification of project affected persons (PAPs) and

entitlements;

4. Describe the consultation procedures and participatory approaches involving PAPs and

other key stakeholders; and

5. Provide procedures for filing grievances and resolving disputes.

The RPF will apply to one component of the SLMP-II, namely Integrated Watershed and

Landscape Management. The procedures will be carried out throughout preparation and

implementation, and impacts of any potential resettlement will be included in monitoring and

evaluation (M&E). When a Resettlement Action Plan (RAP) is required, it will be prepared in

accordance with guidance provided in this RPF, including Detailed Measurement Surveys,

Identification (Census) of PAPs/displaced persons, and Public Consultation and Disclosure

Procedures. The RPF follows the guidance provided in the World Bank Operational Policy on

Involuntary Resettlement (OP 4.12), as described in Annex 1.

The RPF ensures that any possible adverse impacts of proposed project activities are addressed

through appropriate mitigation measures, in particular, against potential impoverishment risks.

These risks can be minimized by:

1. Avoiding displacement of people without a well designed compensation and relocation

process;

2. Minimizing the number of PAPs, to the extent possible;

3. Compensating for losses incurred and displaced incomes and livelihoods; and


4

4. Ensuring resettlement assistance or rehabilitation, as needed, to address impacts on PAPs

livelihoods and their well being.

In addition, PAPs should be meaningfully consulted and should have opportunities to participate

in planning and implementing resettlement programs.

Part III: Project Description and Rationale for RPF

The Project's Development and Global Environment Objective is to reduce land degradation and

improve land productivity in selected watersheds in six regions in Ethiopia. The objective would

be achieved through the provision of capital investments, technical assistance and capacity

building for small holder farmers and government institutions at national and sub-national levels.

The Project would cover six regions, 90 new and 45 existing woredas/watersheds and 937

kebeles. Direct and indirect beneficiaries of the Project include an estimated 1,850,000 people,

consisting of: (i) up to 832,500 people who belong to households that directly benefit from

watershed and landscape management interventions at the site level; (ii) 344,800 people that

benefit directly from the different stakeholder training and capacity building activities; (iii)

950,000 people that benefit directly from the rural land administration and certification schemes;

and (iv) 1,020,000 people that benefit indirectly from improved watersheds and landscapes such

as improved water flow downstream, reduced siltation to reservoirs, or reduced risk to erosion

and mudslide.

The Project would build on the experiences and lessons learnt as well as progress made under the

World Bank/GEF financed support and other similar initiatives in the country and elsewhere. It

would focus on a significant level of investment in main watersheds in the six regional states in

Ethiopia. The proposed project would not be implemented in the urban states of Addis Ababa

and Dire Dawa. The Project has four components: (i) Integrated Watershed and Landscape

Management; (ii) Institutional Strengthening, Capacity Development and Knowledge

Management; (iii) Rural Land Administration, Certification and Land Use; and (iv) Project

Management.

This Resettlement Policy Framework (RPF) will be used when a proposed SLMP-II sub-project

activities need to acquire land and people or property is disturbed. For example, a piece of land is

needed and people are affected because they have houses or other permanent or temporary

buildings on that land; have farms, use the land for water and grazing of animals; or they

otherwise have access to the land for economic, religious, residential or other purposes which

will not be possible during and after the SLMP-II investment project is implemented.

The Project’s Integrated Watershed and Landscape Management component is to support

scaling up and adoption of best-fit sustainable land and water management technologies and

practices by smallholder farmers in selected watersheds/woredas in the country. The component


5

objective would be achieved through scaling up of tested best practice land and water

management models including watershed management, afforestation/reforestation, biodiversity

conservation and protection of ecologically critical ecosystems, conservation agriculture such as

no-/low tillage, agro-forestry, climate-smart agriculture, and pasture management in selected

watersheds in the country. The Community Based Participatory Watershed Development

Guidelines (CBPWDG) developed by the Ministry of Agriculture (MoA) and synthesis of

lessons on best practices from projects, pilots and other initiatives will be the project’s guide.

The expected outputs/outcomes of interventions under this component would include: (i) total

number of land users (households) adopting sustainable and climate-smart/resilient land

management practices on individual lands disaggregated by gender; (ii) total land area in

hectares (individual and communal) brought under a catchment system as a result of the project;

(iii) amount of carbon accumulation in biomass in 10 selected watersheds below and above

ground (ton Carbon/ha) as a result of the project; (iv) increase in per cent of households adopting

and applying backyard livestock management practices in the targeted watersheds; and (v)

number of new technologies (sustainable and climate-smart/resilient practices) applied on a large

scale in the project intervention areas.

The Project’s Integrated Watershed and Landscape Management component activities are

expected to include small infrastructural projects that require some land acquisition and could

potentially reduce access to natural resources (in the case of small scale irrigation and rangeland

management sub-projects). SLMP-II will, therefore, trigger OP 4.12 on Involuntary

Resettlement, and an RPF will be prepared and publicly disclosed before appraisal. OP/BP 4.12

was not triggered under SLMP-I. Instead, any sub-projects that were found, upon screening as

per the Project’s ESMF, to involve involuntary resettlement, acquisition of land and/or reduced

access to natural resources were to be placed in a negative list. Experience from the

implementation of SLMP-I indicates that issues of land acquisition and restriction of access to

natural resources (e.g., water and pasture) need closer attention.

Part IV: Community Consultations and Support for the Project

The Project’s Integrated Watershed and Landscape Management component activities are

expected to include small infrastructural projects that require some land acquisition and could

also potentially reduce access to natural resources (in the case of small-scale irrigation and

rangeland management sub-projects). This component has two sub-components, and some

project activities under each sub-component involve either acquisition of some parcels of

individual/household holdings or restriction of access to common resources such as communal

grazing lands or water sources. The first sub-component, namely Natural Resource Management

and Climate-smart Agriculture, involves activities such as, among others, soil and water

conservation measures; treating degraded lands and gullies on both individual and communal

lands; introducing biodiversity conservation techniques at community and individual farm levels;

and establishing and/or strengthening community level protected area system, conservation

zones, communal reserves, groves, wildlife corridors, etc. The implementation of these project

activities may involve some land acquisition (e.g., treatment of degraded lands and gullies) or


6

restriction of access to natural resources (e.g., soil and water conservation measures). Project

activities under sub-component two, namely Homestead Development, Livelihood Improvements

and Community Infrastructure, that may require some land acquisition or involve restriction of

access to common property resources primarily include construction of small-scale irrigation

schemes and construction and rehabilitation of community access roads and paths.

SLMP-II will, therefore, trigger OP 4.12 on Involuntary Resettlement, and this RPF is prepared

and will publicly be disclosed before appraisal. OP/BP 4.12 was not triggered under SLMP-I.

However, experience from the implementation of SLMP-I indicates that issues of land

acquisition and restriction of access to natural resources (e.g., water and pasture) need closer

attention because the project has not been able to adequately address issues of land acquisition,

particularly related to temporary acquisition, restriction of access, or voluntary land donation.

Triggering OP/BP 4.12 under SLMP-II therefore allows for due diligence to ensure that

arrangements are made for restoration of usufruct rights after temporary acquisition of land or

there is no unlawful pressure/coercion exerted upon voluntary (individual or communal) land

donors in the process of obtaining community land agreement or ensure that involuntary

resettlement and land acquisition is avoided or where it is necessary, is minimized, by exploring

all viable alternatives. In case it is not feasible to avoid involuntary resettlement, resettlement

activities should be conceived and executed as sustainable development programs.

As discussed above, SLMP’s Development and Global Environment Objective is to reduce land

degradation and improve land productivity in selected watersheds in six regions in Ethiopia and

its objectives would be achieved through the provision of capital investments, technical

assistance and capacity building for smallholder farmers and government institutions at national

and sub-national levels. This means SLMP is a Project which, though financed by the

government, is implemented by the community, primarily at the grassroots level. The project is

implemented on both communal and individual/household holdings and is executed by the

community themselves. Since some of the project activities, discussed above, involve some kind

of land acquisition (temporary or permanent) or restriction of access to common resources such

as water sources or pasture lands, there is a need for closer community consultation and

participation at all levels of the project implementation.

Public consultation and participation are essential because they afford potentially affected

persons the opportunity to contribute to both the design and implementation of the sub-projects.

The participation strategy would evolve around the provision of a full opportunity for

involvement. This fits perfectly with the demand-driven nature of the SLMP project. The sub-

projects would be initiated, planned, designed, implemented and operated (i.e., demand-driven)

by communities and/or farmer groups, who by their very nature, are members of the rural

community and therefore, are an integral part of and play a crucial role in the community that

may be effected. Furthermore, it is the local communities who are to claim ownership of this


7

project for it to be successful, and their wealth of knowledge of local conditions are invaluable

assets to the project. In recognition of this, particular attention would be paid to public

consultation with potentially affected individuals/households when resettlement concerns are

involved.

Broad Community Support: In light of this, public consultations have taken place in the

woredas/watersheds selected for SLMP-II and the data generated from those exercises, both

during the field visits for the development of this RPF, and subsequent consultations with project

communities, revealed that the project has broad community support. Among the many results of

the community consultations was that community interest in the project was ascertained.

Community members stressed that the changes brought about by the Project in the adjacent

Project woredas under SLMP-I and the benefits it delivered in terms of land rehabilitation caused

them to feel that they missed the opportunity. They said that they gained lessons about the

practical value of the Project from the successes achieved in neighboring localities in the first

phase SLMP, and wanted to be beneficiaries as well during the second phase.

During the community consultations held in Adama with representatives of the newly selected

woredas/watersheds, FGD participants from Sibu Sire Woreda stressed that improvement in the

livelihood of their neighbors in Gobu Sayo Woreda, one of the watershed woredas under SLMP-

I, reinforced their desire to be included in similar projects. A female FGD participant said “our

neighbors from Gobu Sayo used to suffer from lack of water like us only few years ago. Since

their involvement in environmental rehabilitation project supported by SLMP in the last four

years, their rivers have water all year round. In our case, we get water from our rivers only

during rainy season. These days we go to Gobu Sayo Woreda to get water, both for human and

livestock consumption.” Another female informant from Wara Jarso Woreda said “Ega

mootumman waan akkana calqaba nuun jedhee wagaa lamaaf waan bay’e yaalle. Haa ta’u

malee deegerssa meeshaale ittin hojjenuf qarshii itti biqilttu bitnuu waan hinqabneef, jijjirama

heddu hin argine. Baduuf jirra” (loose translation: Since we were told by the government to

work on environmental rehabilitation, we have been trying our best over the past two years. But,

because of lack of necessary materials and money to buy seedlings, we have not seen any

change. We are about to vanish).

Another male FGD participant said metaphorically “this is not land rehabilitation, but

resuscitating life on the verge of death”. He developed his argument saying “namni bideena

nyaatee malee hinjiratu. Biddeenni furdaan biyye gabbataa irra dhufa” (literally, human beings

cannot live without food. Fat injera1 [food] comes from fat [fertile] soil). Expressing how they

have been struggling to improve the situation out of desperation, a male FGD participant from

Ada’a Barga Woreda used an Oromo proverb which says “Namnni bishaan nyaate

hoomachaa/qoffee qabata” (literally, a drowning person holds onto foam). Another female FG

1 Pancake like Ethiopian staple made usually of teff dough.


8

discussant from Kuyyu Woreda said “we have been trying hard to protect our soil through

terracing in the past few years. I cannot tell you how many times my palms have been bleeding

when I was digging and carrying stones for terracing work. But little has changed because we did

not have the resources to make the terraces last. No seedlings to plant.”

Community members were not only unanimous in their support for the project, but also are

aware of the potential impact of some activities of the project components in terms of possible

land acquisition or restriction of access to communally used natural resources. When compared

to the kind of environmental degradation they are facing now, acquisition of small portion of

their lands for construction of access roads or temporarily restricting of access to communal

grazing lands is the little price they are more than willing to pay.

Land Acquisition: The data also show that communities have experiences in government

initiated/financed development projects such as environmental rehabilitation, irrigation schemes,

construction of health posts, clinics, farmer training centers (FTC) and URRAP (Universal Rural

Road Access Program) which involved some form of land acquisition and restriction of access to

natural resources. They mentioned several examples in which people donated land for

construction of health posts, clinics, and FTCs for the common good. Also depending on the size

of land to be acquired for road construction or the extent of restriction of access resulting from

irrigation scheme, through rigorous consultations, mediated by council of elders and kebele

administration, replacement lands (e.g., communal holdings or mote-keda meret – land left

behind by the diseased person) were given or access routes via other peoples’ holdings were

opened for the project affected households.

One FGD participant said “Missomnni walii galtee barbaada. Yoo walii galuu banne wal

qabanne badudha” (loose translation, development requires common understanding. If we do not

agree, we all vanish). Another male FGD participant mentioned an example in which the

irrigation scheme supported by the World Vision blocked a household’s access to water and

pasture and through negotiation was given another access through his neighbors’ holdings.

Drawing on their experiences related to the execution of URRAP, several informants expressed

strong sense of optimism to address issues that might arise in relation to land acquisition during

the implementation of SLMP II project activities. “Daanddiiwan ganddaalee baadiyyaa daanddi

gurguddatti qunnamsisuff ijaaramani lafaa qonna yokis lafaa margaa nama irra fudhataniiru.

Haa ta’u malee lafaa gandda irra baka buufneef” (loose translation, roads constructed to connect

rural kebeles to all-weather roads have taken people’s lands. But we have given them

replacement from kebele lands). (FGD participant from Warra Jarso Woreda)

Entitlement matrix: Notwithstanding their constitutional right to private property and the right to

be consulted with respect to policies and projects affecting their communities, “the State may

expropriate private property for public use with the prior payment of adequate compensation.”

During the consultation issues of entitlement to appropriate compensation for a property to be


9

affected by SLMP-II was raised and discussed. Accordingly, it was found out that the FGD

participants are aware of the their entitlements such as cash compensation at replacement cost for

property to be removed or demolished, cash compensation for income lost during period of

temporary occupation of a farmland, and land for land replacement for permanent acquisition of

a farmland. When asked if it is fair to compensate in cash for a permanent loss of farmland, they

said the best option would have been ‘land for land’ compensation, but they still understand why

cash compensation should be given in view of land shortage and consider it viable if alternative

and sustainable livelihood strategies are designed in consultation with the PAPs concerned.

Many informants are aware of the fact that persons whose livelihoods have been adversely

affected because of government program are entitled to some form of compensation and this is

their constitutional right (FDRE, Constitution, 1995, Article 44). When asked whether they are

protected by law against displacement without adequate prior notice and compensation,

informants were unanimous in describing the processes followed to seek community support for

government initiated development projects. The key structure in this regard is the kebele

administration, which organizes series of meetings to deliberate on the proposed project and its

impact and peoples’ entitlement in the event of adverse impact on individuals or households.

Many mentioned the road project example, where detail community consultations and

measurement and valuation of property affected by the project are done as per the FDRE’s

Proclamation No. 455/2005. A couple of FGD participants, however, recalled the provision of

Proclamation No. 455/2005 which stipulates PAPs be represented in the Committees for

valuation of property. They stressed this is often overlooked and cautioned this should not

happen during the implementation of SLMP-II.

Institutional arrangement: Project implementation involves different stakeholders, whose

particular responsibilities are defined by the institutional arrangement put in place as per the

relevant legal or policy framework. When asked if they know how the project is likely to be

implemented and the responsible body of the project, informants said that the Woreda

Agriculture and Rural Development Office will be the owner and it implements the project

through the Development Agents (DA) and the kebele administration, in which the communities

are represented through their elected members. They have also mentioned the local government

structures such as Kebele Cabinet, Development Team (including DAs) and One-to-Five (Cell),

which like in other development works, could be used to mobilize support for the project.

Grievance redress mechanism: During the community consultations, the representatives of the

local population in the new Project woredas were asked what they knew regarding how the

Project was going to handle any possible grievances and complaints of community members

related to the Project. The participants responded by saying that the project staff from the

regional and zone agriculture offices assured them that there would be no cause for major

concern regarding project-related grievances. They told them that the risk of land loss and

displacement resulting from land treatment and rehabilitation on individual and communal land


10

holdings would be only minimal. Community members represented in the consultation meetings

also shared those views explaining that they did not know of experiences that led to serious

complaints in the neighboring Project woredas arising from the implementation of SLMP-I.

Yet, community representatives expressed that the Project staff informed them that the Project

was designed to include grievance redress mechanisms (GRM) in anticipation of complaints

related to land acquisition and compensation, although such possibilities were thought to be

insignificant and manageable at community level. Thus, it was emphasized that as part of the

Project structure and action plan, committees were to be established from zone down to

grassroots levels in the watershed areas, as it was done in the existing SLMP-I woredas. These

committees are responsible to handle project-related grievances and complaints at each stage of

the Project hierarchy.

The community representatives reiterated that the establishment of grievance redressing

structures was a welcome development. They also appreciated that the Project allowed room for

community participation by making arrangements for the representation of the local people in the

grievance redressing committees to be drawn from different community groups such as women,

youths, community elders, and religious leaders. Still, although the local people found the

planned formal/institutionalized GRM to be reassuring, they said that the arrangements were new

to them and that the operations and role of these structures in land and natural resource

management-related dispute settlement were yet to be seen. In this respect, they indicated that

the local communities had indigenous and customary institutions that worked for centuries in

resolving disputes among community members related to land and other issues. From their

perspective, the local people reflected strong views that it would be practically valuable for

SLMP implementation, if the Project considered using the long-existing traditional dispute

settlement institutions together with the formal arrangements of SLMP-II.

Monitoring and Evaluation: Monitoring and evaluation is the key component in the

implementation of any project. According to SLMP regional coordinators, monitoring and

evaluation is done at all levels, ranging from the grassroots to regional levels. At the Kebele and

sub-Kebele levels, there are watershed committees who regularly meet and evaluate the project.

They stressed that since the communities are involved in the planning of the project, they know

every detail and can effectively evaluate it. Field data from local communities support the above

argument. In some of the woredas visited, however, it was reported that the main weakness of

the monitoring and evaluation under SLMP-I was the delay and cancellation of M&E field visit

schedules due to the workload of the Steering Committee and members of the Joint Monitoring

Team (JMT). Turnover of some of these assigned officials also affected the monitoring and

evaluation of the Project. In one woreda, lack of systematic mechanism of overall evaluation of

the project performance was also reported.


11

Participatory community consultation: The field data indicate that the concerned local

communities have shown interest and commitment not only to participate in, but also to actively

support and contribute to the success of the SLMP intervention. It was also ascertained that the

consultations were carried out on the basis of prior, free and informed consent of the community

members involved. Moreover, it is important to note that intensive community consultation will

be embarked on in earnest (See Part VIII, Public Consultation and Disclosure Plan), by using

the Community-Based Participatory Watershed Development Guideline (CBPWDG) and Project

Implementation Manual (PIM) in due course depending on the project component or sub-

component to be implemented in each watershed area. Likewise, other activities that require

community consultation and involvement such as participatory watershed development planning

(PWDP), the establishment of structures (grassroots watershed and micro watershed committees

and planning teams) and complaint registration and grievance redress mechanisms will be

executed.

Part V: Legal and Institutional Framework This RPF will apply the laws, legislation, regulations, and local rules governing the use of land

and other assets in Ethiopia. This legal and institutional framework is presented in six sections:

1. Political economy and governance in Ethiopia;

2. Property and land rights, as defined by Ethiopian law and customary practice;

3. Acquisition of land and other assets, including regulations over the buying and selling of

these assets;

4. Human rights and compensation, in particular, the accepted norms influencing peoples’

basic rights to livelihood and social services;

5. Dispute resolution and grievance procedures, specifically the legal and institutional

arrangements for filing grievances or complaints and how those grievances are addressed

through formal and informal systems of dispute resolution; and

6. Comparison with World Bank OP4.12, using equivalence and acceptability standards.

i) POLITICAL ECONOMY AND GOVERNANCE IN ETHIOPIA

Land rights in Ethiopia do not explicitly provide private property rights. After the Proclamations

No. 31/1975 and 47/19752, ownership of land was vested in the State, and Ethiopian citizens

were given various forms of use-rights (usufruct) over land and other resources. Accordingly,

the 1995 Constitution Article 40(3) recognizes land as a common property of the Nations,

Nationalities, and Peoples of Ethiopia and prohibits sale or any other exchange of land. In some cases, the user of land has ownership of his/her possessions with the right to benefits

from the fruits of his/her labor. This includes crops, perennial crops, tress for timber, etc. found

on the land or any other permanent fixtures such as residential house, business installations,

2 Before 1975, the 1960 Civil Code of the Empire provide for private land ownership. As this law has been

overruled by these laws and Proclamation No. 455/2005 regarding compensation, it should not serve as the legal

framework for resettlement.


12

stores and fences, amongst others (Proclamations No. 31/1975 and 47/1975). The 1995

Constitution Article 40(7) reiterates and furthers this point by stating, “Every Ethiopian shall

have the full right to the immovable property he builds and to the permanent improvements he

brings about on the land by his labour or capital. This right shall include the right to alienate, to

bequeath, and, where the right to use expires, to remove his property, transfer his title, or claim

compensation for it.”

Regional states are responsible for administering land, enacting law that is in conformity with the

provisions on environmental protection and federal utilization policies (Proclamation No.

89/1997 and Proclamation No. 456/2005 Article 17(1)). Additionally, Zikre Hig Regulation No.

6/2002 provides for the lease holding of urban land for a specific period of time, and also

regulates the lease period for different functions, grade of land and payment of lease. Lastly, the

law regulates manners of expropriation of land and designates land that can be expropriated for

public use without payment of compensation.

These rights over “holding land” are open-ended (no time limit on this usufruct), subject to a

proof of permanent physical property, ability to farm continuously and meet administrative dues

and obligations (1995 Constitution Article 40(3)). Furthermore, Proclamation No. 89/1997

confirms and details the Constitutional principle that holding rights on land can be assigned to

peasants and pastoralists, and that these are to be secured from eviction and displacement. The

1995 Constitutions Articles 40(4) and 40(5) provide for free land without payment for farmers

and pastoralists. Lastly, Proclamation No. 80/1993 allows companies to attain access to land

through auction, allocation, or lottery, similar to individuals.

Overall, the Constitution protects against unlawful seizure of property, stating “Everyone shall

have the right to his privacy and physical integrity. This right shall include protection from

searches of his person, his home, his property and protection from seizure of property under his

possession” (1995 Constitution Article 26). “Landholder” means an “individual, government, or

private organization or any…other…organ which has legal personality and has lawful possession

over the land to be expropriated and owns property situated thereon” (Proclamation No.

455/2005 Article 2(3)).

ii) INSTITUTIONAL ARRANGEMENT

The key institutional actors involved in resettlement are the local governments of Ethiopia at the

woreda and kebele levels. This keeps in line with the Government’s policy of decentralization.

The responsibilities of the federal and regional governments are confined to the actual project’s

implementation. Agencies that tend to be included are the federal and regional ministries of

Finance and Economic Development and the ministries associated with the sector of the project.


13

Committee

Representatives

Woreda Compensation and Resettlement

Committee Woreda Administrator

Woreda Office of Finance and Economic

Development

Woreda Office for Agriculture and Rural

Development

Woreda Office for Water Development

Woreda Office for Women, Children and

Youth

Woreda Heath Office

Woreda Education Office

Woreda Environmental Protection Office

(if structure available at woreda)

o Representative from local NGO or

CBO

Community Representative

• EPLAUA representative

Kebele Compensation and Implementing

Committee (Rural) Kebele Administrator (Chairperson);

Kebele Development Agent (extension

worker);

Representative of PAPs;

Village Elder / Leader (rotating position

with one Leader representing a number of

villages and attending in rotation,

depending on the village and affected

party being dealt with);

• Representative from local NGO or CBO

The Woreda Committees are responsible for:

evaluating the projects and determining if a RAP is necessary, establishing kebele level

committees;

clarifying the polices to the kebele compensation committees;


14

establishing standards to unit rates of affected assets and compensation estimates

according to the guidelines in the RPF;

coordinating and supervising implementation by kebele compensation committees as

stipulated in the RPF;

ensuring that appropriate compensation procedures are followed; and

overseeing the project’s requirements related to social impacts included resettlement and

compensation.

The local Kebele Committees are responsible for:

validating inventories of PAPs and affected assets;

allocating land where required to permanently affected households;

monitoring the disbursement of funds;

guiding and monitoring the implementation of relocation;

coordinating activities between the various organizations involved in relocation;

facilitating conflict resolution and addressing grievances; and

providing support and assistance to vulnerable groups.

iii) PROPERTY AND LAND RIGHTS IN ETHIOPIA

Land acquisition and property rights are defined in the 1995 Constitution Article 40(8), which

empowers the Government to expropriate private property for public purposes subject to

payment in advance of compensation commensurate to the value of the property. Under

Proclamation No. 455/2005, purchases of land and other assets are established in detailed

procedures and time limits where land could be acquired after a request is received from the

proponent along with compensation.

The power to expropriate landholdings for a development project belongs to a woreda (rural

local government) or urban administration (Proclamation No. 455/2005 Article 3). The

implementing agency is required to provide written notification, with details of timing and

compensation, which cannot be less than 90 days from notification (Proclamation No. 455/2005

Article 4). Any entitled landholder who has been served with an expropriation order shall hand

over the land to the local woreda or urban administration within 90 days from the date of

payment of compensation should the leaseholder accept payment. Furthermore, where there is

no crop or other properties on the expropriated land, the titleholder shall hand over the land

within 30 days of receipt of expropriation order. Lastly, Article 4 (3) gives power to use police

force if a landholder is unwilling to hand over land.

The implementing agency is responsible for gathering data on the land needed and works, and

sending this to the appropriate officials for permission. It is also required to compensate affected

landholders (Proclamation No. 455/2005 Article 5).

For example, regarding the removal of utility lines, the relevant government body must give a

written request to the affected landholder, and this body must determine a fair compensation

within 30 days (Proclamation No. 455/2005 Article 6). Compensation must be paid within 30


15

days of the receipt of the valuation, and the landholder must vacate the land within 60 days of

receipt of compensation.

iv) ACQUISITION AND VALUATION OF LAND AND OTHER ASSETS

Land valuations are often done at the woreda and urban administration levels. These local

government units establish valuation committees to value private properties (Proclamation No.

455/2005). In the case of publicly owned infrastructure with a designated right-of-way (ROW),

the owners of the structures within the ROW would assess the value of properties to be removed.

However, the law does not take into account depreciation values. The landholder is entitled to be

compensated for the property on the basis of replacement cost. Permanent improvements to the

land, equal to the value of capital and labour expended (Proclamation No. 455/2005 Article 7),

are specified as valid basis for determining replacement value. Where property is on urban land,

the law specifies that compensation “may not be less than constructing a single room in low cost

house as per the region in which it is located.” It is also required that the cost of removal,

transportation, and erection be paid as compensation for a relocated property, continuing its

service as before. Compensation will also be based on current cost, cost of demolishing, lifting,

and reinstalling. Valuation formulae are to be provided by regulations (Proclamation No.

455/2005 Article 7).

Assets will be broken down into components to assess value (Directive No. 135/2007).

Components for building costs include cost per square meter. Crops are subdivided into crops

and perennial crops, and calculated based on yield per square meter of land multiplied by price

per kilogram. Trees could be cut and used by owner plus payment of compensation for loss of

continued income. The cost of machinery, labour for improvement, and any infrastructure as part

of the improvement will be compensated based on current costs. Property relocation is based on

the cost to relocate property given that it is not damaged while being moved. The amount of

compensation for loss of land that is used for grazing or production of grass is based on the area

of land and the current price per square meter. (Note: more detailed instructions for

compensation are included within Directive No. 135/2007.)

Further, assets will be classified as movable and immovable. For movable assets, compensation

will be paid for inconvenience and other transition costs (Proclamation No. 455/2005 Article

7(2)). Urban immovable assets include residential houses, business installations, institutional

structures, stores, fences and public service providing installation. In rural areas, they include

seasonal crops, perennial fruit trees, timber trees and other cash crops.

For losses that cannot be easily valued or compensated in monetary terms (e.g. access to public

services, grazing areas, water points, fishing ponds, etc.), an attempt will be made to establish

access to equivalent and culturally acceptable resources and earning opportunities (Proclamation

No. 455/2005 Article 7(2)).

In addition to compensation according to Proclamation No. 455/2005 Article 7, a displacement

compensation shall be paid equivalent to ten times the average annual income he/she secured

during the five years preceding the expropriation of the land (Proclamation No. 455/2005 Article

8(3)). Compensation will be in an amount sufficient to reinstate displaced people to their


16

economic position prior to displacement, the regionally relevant administration is required to

give another piece of land to any person who lost his land in favour of a public project

(Proclamation No. 455/2005). The assessment of compensation does not include the value of the

land itself because land is a public property and not subject to sale in Ethiopia.

Those with informal, or undocumented rights, and those without titles or use right (e.g. squatters,

encroachers) are eligible for specific assistance. Such assistance recognizes some “typical claim

to use rights or even ownership” after occupation of unused or unprotected lands has been

established. Informal use-rights are likely to have structures or land improvements that are

eligible for compensation, as stated in Proclamation No. 455/2005.

In general, valuation of property is to be carried out by a certified private or public institution or

private consultants as per the valuation formulae (Proclamation No. 455/2005 Article 9). The

committee must be made up of experts with relevant qualifications (Proclamation No. 455/2005

Article 10). This must be not more than 5 experts in rural areas and be designated by the woreda

or urban administration. A specialized committee of experts may also be set up separately if

required.

The local and federal governments have different roles in compensation. The woreda and urban

administrations are responsible that compensation is paid and giving rehabilitation support to the

extent possible, and maintain data regarding properties removed from expropriated landholdings

(Proclamation No. 455/2005 Article 13). The Ministry of Agriculture with coordination of

concerned Regional Bureau has a duty to ensure there is compliance with Proclamation No.

455/2005 at the regional level, to provide technical and capacity building support in

implementation at the regional level, and prepare the valuation formulae (Proclamation No.

455/2005 Article 12).

All SLMP-II subprojects or other household livelihood diversification interventions

shall go through Environmental and Social impact screening as per the ESMF. For

subprojects confirmed to have adverse impact, social survey will be conducted to

determine scope and nature of impact due to resettlement. Then Resettlement Action

Plan (RAP) shall be prepared to address the adverse impacts and key social issues.

RAPs will also be provided to the National SLM Program Coordination Unit for

review and clearance for each SLMP-II Subproject or other livelihood interventions

to be considered eligible for Bank financing.

For all subprojects/household-based interventions triggering Involuntary Resettlement

OP/BP 4.12, a RAP shall be prepared. OP 4.12 and the outline of RAP is provided in

Annex 2.

Due to the fact that the majority of the project beneficiaries identified themselves as

indigenous and because of the possibility of minor land acquisition in the subprojects

activities, the project will explore alternative design to avoid physical relocation and

where it is not feasible to avoid relocation, and if needed will obtain broad

community support as part of the process of “free, prior, and informed consultation

to fully identify target beneficiaries’ views and ascertain their broad community


17

support for the project” and will prepare a RAP in accordance with this Framework,

compatible with cultural preferences and land acquisition plan.

v) ENTITLEMENTS AND COMPENSATION

The people of Ethiopia are given the right to improved living standards and sustainable

development and the right to be consulted with respect to policies and projects affecting their

communities (1995 Constitution Articles 43(1) and 43(2)). Additionally, all international

agreements and relations by the State must protect and ensure Ethiopia’s right to sustainable

development (1995 Constitution Article 43(3)). Lastly, the 1995 Constitution Article 44

guarantees the right to a clean and healthy environment.

The 1995 Constitution Article 40(8) provides that “without prejudice to the right to private

property, the State may expropriate private property for public use with the prior payment of

adequate compensation.” The words “prior” and “adequate” are in line with the Universal

Declaration of Human Rights. This manifests rights to citizens for basic services and programs,

including facilities to guarantee education, health, and housing.

Persons who have been displaced or whose livelihoods have been adversely affected by a State

program are provided, under the 1995 Constitution Article 44, to some form of compensation for

their loss. This includes relocation expenses.

vi) DISPUTE RESOLUTION AND GRIEVANCE REDRESS PROCEDURES

The kebele (local level government structure smaller than a woreda) shall discuss and agree to

the proposed expropriation (ANRS Proclamation No. 133/2006). The ANS Directive No. 7/2002

provides for the expeditious decision making system with regard to expropriation of urban land.

It describes the composition of the jury members: a justice officer as chair person, two residents

of the town where the land is located, and two representatives of government offices. The

decision of the Appeals Court regarding basic land expropriation issues is final; however, an

appellant could take the cases related to the amount of compensation, delays in payment, or

similar cases all the way up to the High Court.

If misunderstandings and disputes arise between the principal parties (e.g. local government

bodies and affected parties) involved in the resettlement and compensation process, the preferred

means of settling disputes is through arbitration (Proclamation No. 455/2005). The number and

composition of the arbitration tribunal may be determined by the concerned parties. Though

Proclamation No. 455/2005 provides for appeals from valuation decision, such action will not

delay the transfer of possession of land to the proponent.

A complaint related to the amount of compensation shall be submitted to the regular court having

jurisdiction (Proclamation No. 455/2005 Article 11(1)) if the administrative body for handling


18

disputes has not yet been established. Appeals for dispute resolution may be referred to the High

Court (Regulation No. 51/2007). The regular court having jurisdiction within the region may also

be involved in implementation and compensation of resettlement if the administrative organ to

hear land grievances has not yet been established (Proclamation No. 455/2005 Article 11(1)).

Similarly, if the landholder is not satisfied with the decision of the compensation grievance

review committee, the case may be referred to the High Court (Regulation No. 51/2007).

vii) COMPARISON TO WORLD BANK OP 4.12

There are significant gaps between Ethiopian laws and regulations and the requirements for

resettlement as laid out in OP 4.12. The Ethiopian laws and regulations are not completely

compatible with the Bank’s OP 4.12 provisions. Below is a short discussion of the most

important differences.

While OP 4.12 requires that compensation be completed prior to the start of the project, there are

no similar timetables set out in Ethiopian laws or regulations. Additionally, there is no provision

for relocation assistance, transitional support, or the provision of civic infrastructure under

Ethiopian law.

Additionally, Ethiopian law does not make any specific accommodation for squatters or illegal

settlers, other than recognition of some use-rights, such as when settlers can claim rights to the

land. OP 4.12 requires that affected communities be consulted regarding project implementation

and resettlement. Affected communities should also receive the opportunity to participate,

implement, and monitor resettlement. However, Ethiopian law states that, when it is determined

that a right of way must be established, the expropriation rights of the State take precedence,

although the Constitution protects the individual’s use-rights.

However, no specific provision is made in the Ethiopian laws to accommodate the potential

adverse impacts of development projects for the vulnerable groups such as women, children, the

elderly, historically disadvantaged ethnic minorities, the landless, and those living under the

poverty line. These groups are at highest risk to experience negative effects due to resettlement,

and should receive special consideration during the preparation of a resettlement policy

framework to assure that they can maintain at least the same standard of living after

displacement takes place. Finally, there is also no provision in the law that the state should

attempt to minimize involuntary resettlement. However, this appears to be implicit in the

country’s Constitution.

Where there is a difference between OP 4.12 and Ethiopian law, the higher standard shall

prevail.


19

Part VI: Compensation for Land and Other Assets

The RPF guidelines apply to SLMP-II component 1 - Integrated Watershed and Landscape

Management, whether or not they are directly funded in whole or in part by SLMP-II. The RPF

applies to activities of community sub-projects or household livelihood diversification enterprise

affecting those who would be physically displaced or who would lose some or all access to

resources, and regardless of the total number affected, the severity of impact, and their legal

status (e.g. the RPF guidelines apply also to those with ill-defined or no title to the land).

PAPs may be classified in one of the following three groups:

(a) those who have formal legal rights to land (including customary and traditional rights

recognized under the laws of the country);

(b) those who do not have formal legal rights to land at the time the census begins but have a

claim to such land or assets--provided that such claims are recognized under the laws of the

country or become recognized through a process identified in the resettlement plan; and

(c) those who have no recognizable legal right or claim to the land they are occupying.

Persons covered under (a) and (b) above are provided compensation for the land they lose, and

other assistance. Persons covered under (c) above are provided resettlement assistance in lieu of

compensation for the land they occupy, and other assistance, as necessary, to achieve the

objectives set out in this policy, if they occupy the project area prior to a cut-off date established

by the borrower and acceptable to the Bank. Persons who encroach on the area after the cut-off

date are not entitled to compensation or any other form of resettlement assistance. All persons

included in (a), (b), or (c) are provided compensation for loss of assets other than land.

The RPF provides special attention to the needs of vulnerable groups among the PAPs,

especially poorer households, including the landless, elderly and disabled, women and children,

vulnerable groups and ethnic minorities, and other historically disadvantaged people.

The activities in SLMP-II that are expected to have some land acquisition or restriction of access

include the following:

(i) Soil and water conservation measures;

(ii) Treating degraded lands and gullies on both individual and communal lands;

(iii) Scaling up appropriate agro-forestry systems/practices;

(iv) Introducing forest and wood land management practices such as participatory forest

management (PFM);

(v) Establishing central, communal and private nurseries;

(vi) Introducing biodiversity conservation techniques at community and individual farm

levels;

(vii) Establishing and/or strengthening community level protected area system, conservation

zones, communal reserves, groves, wildlife corridors, etc;

(viii) Enhancing land productivity through selected agroforestry technologies/practices.

(ix) On-the-ground roll out of the National Faidherbia Program launched by the late


20

Prime Minister Meles in 2011;

(x) Integrated soil fertility management;

(xi) Construction of small scale irrigation schemes;

(xii) Construction of water harvesting structures;

(xiii) Construction and rehabilitation of community access roads and paths; and

(xiv) Establishing fodder/forage.

Although the exact number and locations of the projects are unknown, the following categories

of PAPs will be used in identifying the groups of PAPs for the purposes of determining impacts:

Project affected persons (PAPs) are individuals whose assets may be lost, including land,

property, other assets, and/or access to natural and/or economic resources as a result of activities

related to sub-project(s).

Project affected households are groups of PAPs in one household and where one or more of its

members are directly affected by SLMP-II. These include members like the head of household,

male, and female members, dependent relatives, tenants, etc.

Vulnerable groups of people. From these households SLMP-II will separately identify the

vulnerable members, such as those who are too old or too ill; children; those living with HIV;

women; unemployed youth; etc. Households headed by women that depend on sons, brothers,

and others for support, especially vulnerable groups from the underserved areas. Similarly,

households with elderly or seriously ill persons are eligible for additional support.

During implementation of SLMP-II, a social assessment will be carried out to identify the areas

or sites where resettlement due to land acquisition or restriction of access to resources is likely to

have impact. At that stage, OP 4.12 calls for the preparation of separate stand-alone Resettlement

Action Plans (RAPs) consistent with the guidelines provided in this RPF. The following

procedural guidelines will apply when it is determined that a RAP would be developed.

(i) All potential PAPs should be identified (through a scoping exercise) and informed about

their options and rights pertaining to compensation for land and assets to be acquired by

the sub-project(s);

(ii) PAPs must be consulted about land acquisition and compensation and offered technical

and financial options, including the most economically feasible alternatives; and

(iii) PAPs should receive reasonable compensation at full replacement cost for losses of assets

and access attributable to the sub-project.

(iv) If community members choose to voluntarily donate land/assets without compensation,

they must be fully informed about the project and its grievance redress arrangements

ahead of the agreement, and it must be documented that this act is performed freely and

voluntarily, without any coercion.

Screening. This process would lead to the creation of a list of the number and types of

infrastructure (including buildings or other structures) that sub-projects will construct that may

potentially involve resettlement issues. This list will be presented to affected communities using


21

a sensitization and consultation process. These consultations will be documented for each site

(sub-project).

RAP Preparation. As soon as the list (sub-projects) is approved by the responsible agency

implementing SLMP-II, a consultative and participatory process for preparing a RAP or ARAP

will be started, as follows:

(i) A socio-economic survey will be completed to determine scope and nature of

resettlement impacts.

(ii) The socio-economic study will be carried out to collect data in the selected sub-

project sites.

(iii) The socio-economic assessment will focus on the potential affected communities,

including some demographic data, description of the area, livelihoods, the local

participation process, and establishing baseline information on livelihoods and

income, landholding, etc.

Annex 2 describes the requirements for the RAP in detail. In general, the RAP contains the

following information:

(i) Baseline Census;

(ii) Socio-Economic Survey;

(iii) Specific Compensation Rates and Standards;

(iv) Entitlements related to any additional impacts;

(v) Site Description;

(vi) Programs to Improve or Restore Livelihoods and Standards of Living;

(vii) Detailed cost estimates and Implementation Schedule.

The RAP will be prepared by the Woreda Office of Agriculture (WOA) through the Woreda

Watershed Development Committee (WWDC) and submitted to the Regional Bureau of

Agriculture (BoA) for review and endorsement, which will be forwarded to the Federal SLMP

Support Unit for final approval.

For the implementation of Resettlement Action Plans (RAP) or Abbreviated Resettlement Action

Plans (ARAP) - see Figure 1. Resettlement Policy Framework on the following page - is required

for the implementation of each SLMP-II investment project that causes resettlement or restriction

of access of livelihood. Where relocation or loss of shelter occurs, the RPF requires that

measures to assist the displaced persons be implemented in accordance with the Resettlement

Action Plans.


22

NO LAND ACQUISITION

IMPACT IDENTIFIED LAND ACQUISITION

IMPACT IDENTIFIED

INDIVIDUALS

ARE AFFECTED

Figure 1. Resettlement Policy Framework

Census of affected people

and affected assets Development of a RAP

Review & approval of

RAP by the Region’s

PCU,

MoA and WB

Disclosure of the RAP

at the WB InfoShop

Delivery of compensation

& other entitlements as

per this RPF, and the

specific RAP

STANDARD ESMF

PROCESSES

RPF IMPACT IDENTIFIED


23

The following guidelines are used when a RAP is developed.

(i) Consultation and participatory approaches. A participatory approach is adopted to initiate

the compensation process. The consultations must start during the planning stages when the

technical designs are being developed, and at the land selection/screening stage. The

process, therefore, seeks the involvement of PAPs throughout the census for identifying

eligible PAPs and throughout the RAP preparation process.

(ii) Disclosure and notification. All eligible PAPs are informed about SLMP-II projects and

subprojects and the RAP process. A cut-off date is established as part of determining PAPs

eligibility. In special cases where there are no clearly identifiable owners or users of the land

or asset, the RAP Team must notify the respective local authorities and leaders. A

“triangulation” of information – affected persons; community leaders and representatives;

and an independent agent (e.g. local organization or NGO; other government agency; land

valuation expert) – may help to identify eligible PAPs. The RAP must notify PAPs about the

established cut-off date and its significance. PAPs must be notified both in writing and by

verbal notification delivered in the presence of all the relevant stakeholders.

(iii) Documentation and verification of land and other assets. The government authorities at both

national and local levels; community elders and leaders; representatives from the Ministry

of Agriculture will arrange meetings with PAPs to discuss the compensation and valuation

process. For each individual or household affected by the sub-project, the RAP preparation

team will complete a Compensation Report containing the necessary personal information

on the PAPs and their household members; their total land holdings; inventory of assets

affected; and demographic and socio-economic information for monitoring of impacts. This

information will be documented in a Report, and ideally should be “witnessed” by an

independent or locally acceptable body (e.g. Resettlement Committee). The Reports will be

regularly updated and monitored.

(iv) Compensation and valuation. All types of compensation will be clearly explained to the

individual and households involved. These refer especially to the basis for valuing the land

and other assets. Once such valuation is established, the Ministry of Agriculture will

produce a Contract or Agreement that lists all property and assets being acquired by the sub-

project and the types of compensation selected. The entitlement matrix below provides a

sample of entitlements that are eligible for compensation. These options include in-kind

(e.g. replacement housing) and cash compensation. All compensation should occur in the

presence of the affected persons and the community local leaders. Acquired assets will be

compensated at replacement costs, and in calculating replacement cost, depreciation of

structures and assets is not taken into account, nor is the value of materials salvaged by the

PAP from an asset (e.g. building materials, the pump from a well etc) acquired under a

community project. For houses and other structures, the replacement value, if provided as

cash compensation, is the market costs of materials to build a similar or better structure than

the one affected, plus costs of labor/contractors, and the cost of any registration and transfer

taxes. For agricultural land, land would be replaced by similar land, preferably near to the

PAPs; otherwise, the replacement cost is the pre-project or pre-displacement (whichever is

higher) market value of land of equal size or use plus the cost of any registration and

transfer taxes.


24

(i) Community payments. Although most sub-projects do not normally take land and other

assets belonging to a community, such as a community center, school, or sacred site, if

this occurs in a sub-project, the community (as a whole) will be compensated. This

compensation will be in the form of reconstruction of the facility (in case of damages) or

replacement of at least the same standard or equivalent or better standard required by

local planning regulation. Examples of community compensation are expansion of

grazing grounds; rehabilitation of school buildings, public toilets, health facilities;

installation of wells or pumps; creation of market places; and reconstruction of

community roads.

(ii) Grievance procedure. The sub-project RAP team will establish an independent grievance

redress mechanism. This may be set up through Local Authorities, including a

Resettlement or Land Committee and through community leaders. All PAPs will be

informed about how to register grievances or complaints, including specific concerns

about compensation and relocation (for the details also see Part IV, v above). Resolution

of different types of grievances regarding land acquisition and or resettlement will be

attempted at different levels:

Solutions to grievances related to land acquisition impacts should be pursued at

the community level with facilitation by Subproject RAP team together with

design consultants in order to find technical solutions that avoid or further

minimize the need for land acquisition.

Solutions to grievances related to voluntary land donations (e.g. pressure on

individuals to donate land) or sale of private land for project use should likewise

be attempted at the community level with facilitation by Subproject RAP team.

Solutions to grievances related to compensation amounts, delays in

compensation payments or provision of different types of resettlement assistance

should be pursued directly by the designated RAP team through liaison with the

relevant actors.

Arbitration by appropriate local institutions such as Local Authorities, including

a Resettlement or Land Committee and through community leaders

Where satisfactory solutions to grievances cannot be achieved, the aggrieved

party may take the matter before the courts.

Land and Assets Types of

Impact

Person(s)

Affected

Compensation/Entitlement/Benefits

Agricultural land Cash

compensation

for affected

land equivalent

to market value

Farmer/title

holder

Cash compensation for affected land

equivalent to replacement value


25


Impact

Person(s)

Affected


Less than 20%

of land holding

affected

Land remains

economically

viable.

Tenant/ lease

holder

Cash compensation for the harvest or

product from the affected land or

asset, equivalent to ten times the

average annual income s/he secured

during the five years preceding the

expropriation of the land.

Greater than

20% of land

holding lost

Land does not

become

economically

viable.

Farmer/ Title

holder

Land for land replacement where

feasible, or compensation in cash for

the entire landholding according to

PAP’s choice.

Land for land replacement will be in

terms of a new parcel of land of

equivalent size and productivity with

a secure tenure status at an available

location which is acceptable to PAPs.

Transfer of the land to PAPs shall be

free of taxes, registration, and other

costs.

Relocation assistance (costs of

shifting + assistance in re-

establishing economic trees +

allowance up to a maximum of 12

months while short- term crops

mature )






mature )

Tenant/Lease

holder

Cash compensation equivalent to ten

times the average annual income s/he

secured during the five years

preceding the expropriation of the

land.






mature




26


Impact

Person(s)

Affected





mature )


shifting + allowance).

Commercial land Land used for

business

partially

affected

Limited loss

Title holder/

business owner

Cash compensation for affected land

Opportunity cost compensation

equivalent to 5% of net annual

income based on tax records for

previous year (or tax records from

comparable business, or estimates

where such records do not exist).

Business owner

is lease holder


equivalent to 10% of net annual

income based on tax records for

previous year (or tax records from

comparable business, or estimates

where such records do not exist)

Assets used for

business

severely

affected

If partially

affected, the

remaining

assets become

insufficient for

business

purposes

Title

holder/business

owner

Land for land replacement or

compensation in cash according to

PAP’s choice. Land for land

replacement will be provided in terms

of a new parcel of land of equivalent

size and market potential with a

secured tenure status at an available

location which is acceptable to the

PAP.

Transfer of the land to the PAP shall

be free of taxes, registration, and

other costs.


shifting + allowance)


equivalent to 2 months net income

based on tax records for previous

year (or tax records from comparable

business, or estimates)

Business person

is lease holder





business, or estimates), or the


27


Impact

Person(s)

Affected


relocation allowance, whichever is

higher.


shifting)

Assistance in rental/ lease of

alternative land/ property (for a

maximum of 6 months) to reestablish

the business.

Residential land Land used for

residence

partially

affected,

limited loss

Remaining land

viable for

present use.

Title holder Cash compensation for affected land

Rental/lease

holder

Cash compensation equivalent to

10% of lease/ rental fee for the

remaining period of rental/ lease

agreement (written or verbal)

Title holder Land for land replacement or

compensation in cash according to

PAP’s choice.

Land for land replacement shall be of

minimum plot of acceptable size

under the zoning law/ s or a plot of

equivalent size, whichever is larger,

in either the community or a nearby

resettlement area with adequate

physical and social infrastructure

systems as well as secured tenure

status.

When the affected holding is larger

than the relocation plot, cash

compensation to cover the difference

in value.

Transfer of the land to the PAP shall

be free of taxes, registration, and

other costs.



Land and assets

used for

Rental/lease

holder

Refund of any lease/ rental fees paid

for time/ use after date of removal


28


Impact

Person(s)

Affected


residence

severely

affected

Remaining area

insufficient for

continued use

or becomes

smaller than

minimally

accepted under

zoning laws

Cash compensation equivalent to 3

months of lease/ rental fee

Assistance in rental/ lease of

alternative land/ property



Buildings and

structures

Structures are

partially

affected

Remaining

structures

viable for

continued use

Owner Cash compensation for affected

building and other fixed assets

Cash assistance to cover costs of

restoration of the remaining structure

Rental/lease

holder

Cash compensation for affected

assets (verifiable improvements to the

property by the tenant).

Disturbance compensation equivalent

to two months rental costs

Entire

structures are

affected or

partially

affected

Remaining

structures not

suitable for

continued use

Owner Cash compensation for entire

structure and other fixed assets

without depreciation, or alternative

structure of equal or better size and

quality in an available location which

is acceptable to the PAP.

Right to salvage materials without

deduction from compensation



Rehabilitation assistance if required

(assistance with job placement, skills

training)

Rental/lease

holder


assets (verifiable improvements to the

property by the tenant)


shifting + allowance equivalent to

four months rental costs)

Assistance to help find alternative

rental arrangements



29


Impact

Person(s)

Affected


(assistance with job placement, skills

training)

Squatter/informal

dweller


structure without depreciation

Right to salvage materials without

deduction from compensation


shifting + assistance to find

alternative secure accommodation

preferably in the community of

residence through involvement of the

project

Alternatively, assistance to find

accommodation in rental housing or

in a squatter settlement scheme, if

available)


assistance with job placement, skills

training)

Street vendor

(informal

without title or

lease to the stall

or shop)





business, or estimates), or the

relocation allowance, whichever is

higher.


shifting)

Assistance to obtain alternative site to

reestablish the business.

Standing crops Crops affected

by land

acquisition or

temporary

acquisition or

easement

PAP (whether

owner, tenant, or

squatter)

Cash compensation equivalent to ten

times the average annual income s/he

secured during the five years

preceding the expropriation of the

land.

Trees Trees lost Title holder Cash compensation based on type,

age and productive value of affected

trees plus 10% premium

Temporary acquisition Temporary

acquisition

PAP (whether

owner, tenant, or

squatter)

Cash compensation for any assets

affected (e. g. boundary wall

demolished, trees removed)


30

Part VII: Implementation Schedule and Costs

Since the specific sites and sub-projects are not yet determined, this RPF refers only to an

estimated number of PAPs. Because costs of resettlement and compensation are based on

technical designs and results of scoping, it is not possible to produce a detailed budget for RAP

implementation. Once a budget is finalized, it will be subject to approval by the World Bank.

An indicative RAP budget outline can be found in Table I below.

Table I: Indicative Outline of a RAP Budget

Asset acquisition Amount

or

number

Total estimated

cost

Agency responsible

Land

Structure

Crops and economic tress

Community infrastructure

Land Acquisition and Preparation

Land

Structures

Crops areas and others

Community infrastructure

Relocations

Transfer of possessions

Installation costs

Economic Rehabilitation

Training

Capital Investments

Technical Assistance

Monitoring

Contingency


31

# Item Costs Assumptions

1 Compensation for loss of Land

/hectare

For land acquisition purposes,

based on Ethiopian average market

cost, or from similar projects

2 Compensation for loss of Crops

/hectare of

farm lost

Includes costs of labor invested

and average of highest price of

staple food crops and Ethiopian

market prices

3 Compensation for loss of access to

pastoralists

If applicable

Those affected would be provided

with shared access, or alternate

routes (decision agreed through

consultation and participation of

all)

4 Compensation for loss of access to fishing

resources. If applicable

Data provided from the revised

socio-economic study will

determine market values of catch,

fish products etc.

5 Compensation for Buildings and Structures

If applicable

This compensation may be in-kind

or cash. Costs for basic housing

needs should include ventilated pit

latrines, outside kitchen, and

storage.

6 Compensation for Trees

/year/tree

Includes costs of labor invested

and average of highest price of

trees (and tree products) and

Ethiopian market prices

7 Cost of Relocation Assistance/Expenses /household

This cost reflects the moving and

transportation allowance

8 Cost of Restoration of Individual Income

Assumed to be higher than the

GDP/capita in Ethiopia

9 Cost of Restoration of Household Income

These costs reflect the livelihood

restoration program of the RAP

10 Cost of Training Farmers, pastoralists and

other PAPs

This is a mitigation measure

involving capacity building and

involves PAPs and affected

communities

The Woreda Office of Agriculture (WOA) with technical support of Woreda Watershed

Development Committee (WWDC) will prepare an appropriate Resettlement Budget. For this


32

purpose, the Federal SLMP Support Unit will prepare short guideline to help prepare budget to

implement the resettlement action plan.

Part VIII: Public Consultation and Disclosure Plan

An essential element in the RAP implementation process is consultation and public participation.

This will be a continuation of the process entered into during the site selection, screening, census

and RAP development process, and will depend on the extent of the resettlement impact. The

community and landholder would be informed of the approval of the RAP and implications for

all PAPs, as well as the likely implications in terms of resettlement, expropriation, and

compensation. Essentially, this would need to be part of an ongoing process, to ensure that no

affected individual/household is simply "notified" one day that they are affected in this way.

Instead, this process seeks their involvement and wishes to inform communities in a participatory

approach about the project, from the beginning. Public consultations and participation take place

through individual, group, or community meetings, and are adopted as on-going strategy

throughout the entire project cycle.

The role of traditional political and cultural leaders, including community elders, in the

participation strategy will be important. The RAP Team should ensure that these leaders and

local representatives of PAPs are fully involved in designing the public consultation procedures.

During implementation, PAPs will be informed about their rights and options.

Part IX: Monitoring and Evaluation of Impacts

Throughout implementation, SLMP-II is required to carry out safeguard monitoring to ensure

that the Project brings intended benefits, while ensuring that potential adverse environmental and

social impacts are avoided or minimized. Safeguard monitoring will include environmental and

social performance reviews by a local consultant contracted to visit a sample of Project woredas

each year to assess compliance with safeguard instruments, determine lessons learnt, and provide

guidance for improving future performance. Reporting formats will also include indicators on

safeguards.

Moreover, the RAP team will be expected to develop and implement a Monitoring and

Evaluation Plan (MEP). The main indicators that the MEP will measure include: (i) impacts on

affected individuals, households, and communities to be maintained at their pre-project standard

of living, and better; (ii) improvement of communities affected by the project; and (iii)

management of disputes or conflicts. In order to measure these impacts, the RAP identifies the


33

specific indicators to be monitored; define how they will be measured on a regular basis; and

identify key monitoring milestones (e.g. at mid-point of the RAP implementation process).

The Woreda Office of Agriculture (WOA) through the Woreda Watershed Development

Committee (WWDC), with the technical support of RAP team, and woreda project staff are

responsible to:

Implement of RAP, monitoring and timely reporting to the Regional Bureau of

Agriculture.

Provide timely information to the project about all resettlement and compensation

issues arising as a result of RAP or ARAP related activities.

Identify any grievances, especially those that have not yet been resolved at the local

level and which may require resolution at the higher levels (e.g. by the Regional

BoA);

Document completion of project resettlement and compensation that are still pending,

including for all permanent and temporary losses;

The Regional Bureau of Agriculture will establish a reporting system for the sub-project RAP

that will:

(i) Provide timely information to the project about all resettlement and compensation

issues arising as a result of RAP or ARAP related activities;

(ii) Identify any grievances, especially those that have not yet been resolved at the local

level and which may require resolution at the higher levels (e.g. by the Regional

BoA);

(iii) Document completion of project resettlement and compensation that are still pending,

including for all permanent and temporary losses;

(iv) Evaluate whether all PAPs have been compensated in accordance with the

requirements of this RPF, and that PAPs have better living conditions and

livelihoods; and

(v) Identify mitigation measures, as necessity, when there are significant changes in the

indicators that may require strategic interventions (e.g. vulnerable groups are not

receiving sufficient support from the sub-project).

The RAP team will maintain, together with local officials, basic information on all physical or

economic displacement arising from the sub-project. This includes an update, for example, on a

quarterly basis, of the following:

(i) Number of sub-projects requiring preparation of a RAP;

(ii) Number of households and individuals physically or economically displaced by each

sub-project;

(iii) Length of time from sub-project identification to payment of compensation to PAPs;


34

(iv) Timing of compensation in relation to commencement of physical works;

(v) Amount of compensation paid to each PAP household (if in cash), or the nature of

compensation (if in kind);

(vi) Number of people raising grievances in relation to each sub-project;

(vii) Number of unresolved grievances.

The Regional BoA or the Federal SLMP Support Unit will review these statistics to determine

whether the RAP or ARAP implementation arrangements, as defined in this RPF, are effective in

addressing RAP or ARAP related issues. Financial records will be maintained by the sub-

projects and the RPCU, to determine the final cost of RAP or ARAP implementation. The

following indicators (in Table II) can be used to monitor implementation of the RAP or ARAP.

Let us make implementation arrangement, roles, and responsibility very clearly. Please look

again this section.

Table II: Indicators of RAP or ARAP Impacts

Monitoring (of Issues) Evaluation (of Impacts)

Number of compensation (and valuation) not

completed

Changes (+/-) in PAPs conditions during transition

process

Number of sub-projects unable to settle

compensation after two years

Changes (+/-) in PAPs income and livelihood

conditions

Number of grievances filed Quality of grievances or disputes resolved

(qualitative)

Number of livelihood restoration programs

completed

Changes (+/-) in affected households income levels

Pre project production versus present production

levels ( crops for crops, land for land)

Equal or improved production per affected

household/homestead


35

Annexes


36

ANNEX 1: OP 4.12 - Involuntary Resettlement

"Bank" includes IBRD and IDA; "loans" includes IDA credits and IDA grants, guarantees, Project

Preparation Facility (PPF) advances and grants; and "projects" includes projects under (a) PPFs advances

and Institutional Development Fund (IDF) grants, if they include investment activities; (b) grants under

the Global Environment Facility and Montreal Protocol, for which the Bank is the

implementing/executing agency; and (c) grants or loans provided by other donors that are administered

by the Bank. The term "project" does not include programs supported by Development Policy Lending

(for which the environmental provisions are set out in OP/BP 8.60, Development Policy Lending), or by

Program-for-Results Financing (for which environmental provisions are set out in OP/BP 9.00, Program-

for-Results Financing. "Borrower" also includes, wherever the context requires, the guarantor or the

project implementing agency.

In devising approaches to resettlement in Bank-assisted projects, other Bank policies should be taken into

account, as relevant. These policies include OP 4.01, Environmental Assessment, OP 4.04, Natural

Habitats, OP 4.10, Indigenous Peoples, and OP 4.11, Physical Cultural Resources.

The term "displaced persons" refers to persons who are affected in any of the ways described in para. 3 of

this OP.

Displaced persons under para. 3(b) should be assisted in their efforts to improve or restore their

livelihoods in a manner that maintains the sustainability of the parks and protected areas.

Where there are adverse indirect social or economic impacts, it is good practice for the borrower to

http://intranet.worldbank.org/WBSITE/INTRANET/OPSMANUAL/0,,contentMDK:23113171~menuPK:51456940~pagePK:51457169~piPK:51457175~theSitePK:210385~isCURL:Y,00.html









37

undertake a social assessment and implement measures to minimize and mitigate adverse economic and

social impacts, particularly upon poor and vulnerable groups. Other environmental, social, and economic

impacts that do not result from land taking may be identified and addressed through environmental

assessments and other project reports and instruments.

This policy does not apply to restrictions of access to natural resources under community-based projects,

i.e. where the community using the resources decides to restrict access to these resources, provided that

an assessment satisfactory to the Bank establishes that the community decision-making process is

adequate, and that it provides for identification of appropriate measures to mitigate adverse impacts, if

any, on the vulnerable members of the community. This policy also does not cover refugees from natural

disasters, war, or civil strife (see OP 8.00, Rapid Response to Crises and Emergencies).

For the purposes of this policy, "involuntary" means actions that may be taken without the displaced

person's informed consent or power of choice.

"Land" includes anything growing on or permanently affixed to land, such as buildings and crops. This

policy does not apply to regulations of natural resources on a national or regional level to promote their

sustainability, such as watershed management, groundwater management, fisheries management, etc. The

policy also does not apply to disputes between private parties in land titling projects, although it is good

practice for the borrower to undertake a social assessment and implement measures to minimize and

mitigate adverse social impacts, especially those affecting poor and vulnerable groups.

For the purposes of this policy, involuntary restriction of access covers restrictions on the use of

resources imposed on people living outside the park or protected area, or on those who continue living

inside the park or protected area during and after project implementation. In cases where new parks and

protected areas are created as part of the project, persons who lose shelter, land, or other assets are

covered under para. 3(a). Persons who lose shelter in existing parks and protected areas are also covered



38

under para. 3(a).

The Involuntary Resettlement Sourcebook provides good practice guidance to staff on the policy.

"Replacement cost" is the method of valuation of assets that helps determine the amount sufficient to

replace lost assets and cover transaction costs. In applying this method of valuation, depreciation of

structures and assets should not be taken into account (for a detailed definition of replacement cost, see

Annex A, footnote 1). For losses that cannot easily be valued or compensated for in monetary terms (e.g.,

access to public services, customers, and suppliers; or to fishing, grazing, or forest areas), attempts are

made to establish access to equivalent and culturally acceptable resources and earning opportunities.

Where domestic law does not meet the standard of compensation at full replacement cost, compensation

under domestic law is supplemented by additional measures necessary to meet the replacement cost

standard. Such additional assistance is distinct from resettlement assistance to be provided under other

clauses of para. 6.

If the residual of the asset being taken is not economically viable, compensation and other resettlement

assistance are provided as if the entire asset had been taken.

The alternative assets are provided with adequate tenure arrangements. The cost of alternative residential

housing, housing sites, business premises, and agricultural sites to be provided can be set off against all or

part of the compensation payable for the corresponding asset lost.

Such support could take the form of short-term jobs, subsistence support, salary maintenance or similar

arrangements.

See OP 4.10, Indigenous Peoples.




39

Where the borrower has offered to pay compensation to an affected person in accordance with an

approved resettlement plan, but the offer has been rejected, the taking of land and related assets may only

proceed if the borrower has deposited funds equal to the offered amount plus 10 percent in a secure form

of escrow or other interest-bearing deposit acceptable to the Bank, and has provided a means satisfactory

to the Bank for resolving the dispute concerning said offer of compensation in a timely and equitable

manner.

See OP 4.04, Natural Habitats.

As a general principle, this applies if the land taken constitutes less than 20% of the total productive area.

Paras. 13-15 do not apply to impacts covered under para. 3(b) of this policy. The eligibility criteria for

displaced persons under 3 (b) are covered under the process framework (see paras. 7 and 30).

Such claims could be derived from adverse possession, from continued possession of public lands

without government action for eviction (that is, with the implicit leave of the government), or from

customary and traditional law and usage, and so on.

Resettlement assistance may consist of land, other assets, cash, employment, and so on, as appropriate.

Normally, this cut-off date is the date the census begins. The cut-off date could also be the date the

project area was delineated, prior to the census, provided that there has been an effective public



40

dissemination of information on the area delineated, and systematic and continuous dissemination

subsequent to the delineation to prevent further population influx.

For projects that are highly risky or contentious, or that involve significant and complex resettlement

activities, the borrower should normally engage an advisory panel of independent, internationally

recognized resettlement specialists to advise on all aspects of the project relevant to the resettlement

activities. The size, role, and frequency of meeting depend on the complexity of the resettlement. If

independent technical advisory panels are established under OP 4.01, Environmental Assessment, the

resettlement panel may form part of the environmental panel of experts.

See The World Bank Policy on Access to Information, para. 34 (Washington, D.C.: World Bank, 2002).

An exception to this requirement may be made in highly unusual circumstances (such as emergency

operations) with the approval of Bank Management (see BP 4.12, para. 8). In such cases, the

Management's approval stipulates a timetable and budget for developing the resettlement plan.

Impacts are considered "minor" if the affected people are not physically displaced and less than 10

percent of their productive assets are lost.

For the purpose of this paragraph, the term "subprojects" includes components and subcomponents.

ANNEX 2: Annotated Outline for Preparing a Resettlement Policy Framework and a Resettlement Action

Plan (RAP)

Resettlement Policy Framework


http://go.worldbank.org/TRCDVYJ440



41

The purpose of the policy framework is to clarify resettlement principles, organizational

arrangements, and design criteria to be applied to subprojects to be prepared during project

implementation (see OP 4.12, paras. 26-28). Subproject resettlement plans consistent with the policy

framework subsequently are submitted to the Bank for approval after specific planning information

becomes available (see OP 4.12, para. 29).

The resettlement policy framework covers the following elements, consistent with the provisions

described in OP 4.12, paras. 2 and 4:

(a) a brief description of the project and components for which land acquisition and resettlement are

required, and an explanation of why a resettlement plan as described in paras. 2-21 or an abbreviated plan

as described in para. 22 cannot be prepared by project appraisal;

(b) principles and objectives governing resettlement preparation and implementation;

(c) a description of the process for preparing and approving resettlement plans;

(d) estimated population displacement and likely categories of displaced persons, to the extent feasible;

(e) eligibility criteria for defining various categories of displaced persons;

(f) a legal framework reviewing the fit between borrower laws and regulations and Bank policy

requirements and measures proposed to bridge any gaps between them;

(g) methods of valuing affected assets;

(h) organizational procedures for delivery of entitlements, including, for projects involving private sector

intermediaries, the responsibilities of the financial intermediary, the government, and the private

developer;

(i) a description of the implementation process, linking resettlement implementation to civil works;

(j) a description of grievance redress mechanisms;

(k) a description of the arrangements for funding resettlement, including the preparation and review of

cost estimates, the flow of funds, and contingency arrangements;

(l) a description of mechanisms for consultations with, and participation of, displaced persons in planning,

implementation, and monitoring; and

(m) arrangements for monitoring by the implementing agency and, if required, by independent monitors.

When a resettlement policy framework is the only document that needs to be submitted as a

condition of the loan, the resettlement plan to be submitted as a condition of subproject financing need not

include the policy principles, entitlements, and eligibility criteria, organizational arrangements,

arrangements for monitoring and evaluation, the framework for participation, and mechanisms for

grievance redress set forth in the resettlement policy framework. The subproject-specific resettlement

plan needs to include baseline census and socioeconomic survey information; specific compensation rates

and standards; policy entitlements related to any additional impacts identified through the census or

survey; description of resettlement sites and programs for improvement or restoration of livelihoods and

standards of living; implementation schedule for resettlement activities; and detailed cost estimate.

Resettlement Action Plan

This template is extracted from OP 4.12 Annex A. Its full description can be found in the World Bank

external website [INSERT LINK].

The scope and level of detail of the RAP will vary depending on the magnitude and complexity of

resettlement or displacement. The RAP is prepared based on the most recent and accurate information on

the: (i) proposed resettlement and its impacts on displaced persons and other adversely affected groups;





42

and (ii) legal issues affecting resettlement. The RAP covers elements that are specific to the project

context.

A broad outline of the RAP, as applied to sub-projects covered under a RPF includes, but is not limited

to, the following:

Description of the sub-project: General description of the sub-project and identification of sub-project

area or areas.

Potential Impacts: Identification of the: (i) the sub-project components or activities that require

resettlement or restriction of access; (ii) zone of impact of components or activities; (iii) alternatives

considered to avoid or minimize resettlement or restricted access; and (iv) mechanisms established to

minimize resettlement, displacement, and restricted access, to the extent possible, during project

implementation.

Objectives: The main objectives of the resettlement program as these apply to the sub-projects.

Socio-economic studies: The findings of socio-economic studies to be conducted in the early stages of

project preparation, and with the involvement of potentially affected people will be needed. These

generally include the results of a census of the affected populations covering:

(i) Current occupants of the affected area as a basis for design of the RAP and to clearly set a cut-off

date, the purpose of which is to exclude subsequent inflows of people from eligibility for

compensation and resettlement assistance;

(ii) Standard characteristics of displaced households, including a description of production systems,

labor, and household organization; and baseline information on livelihoods (including, as

relevant, production levels and income derived from both formal and informal economic

activities) and standards of living (including health status) of the displaced population;

(iii) Magnitude of the expected loss, total or partial, of assets, and the extent of displacement, physical

or economic;

(iv) Information on vulnerable groups or persons, for whom special provisions may have to be made;

and

(v) Provisions to update information on the displaced people’s livelihoods and standards of living at

regular intervals so that the latest information is available at the time of their displacement, and to

measure impacts (or changes) in their livelihood and living conditions.

There may be other studies that the RAP can draw upon, such as those describing the following:

(i) Land tenure, property, and transfer systems, including an inventory of common property natural

resources from which people derive their livelihoods and sustenance, non-title-based usufruct

systems (including fishing, grazing, or use of forest areas) governed by locally recognized land

allocation mechanisms, and any issues raised by different tenure systems in the sub project area;

(ii) Patterns of social interaction in the affected communities, including social support systems, and

how they will be affected by the sub-project;

(iii) Public infrastructure and social services that will be affected; and

(iv) Social and cultural characteristics of displaced communities, and their host communities,

including a description of formal and informal institutions. These may cover, for example,

community organizations; cultural, social or ritual groups; and non-governmental organizations

(NGOs) that may be relevant to the consultation strategy and to designing and implementing the

resettlement activities.


43

Legal Framework: The analysis of the legal and institutional framework should cover the following:

(i) Scope of existing land and property laws governing resources, including state-owned lands under

eminent domain and the nature of compensation associated with valuation methodologies; land

market; mode and timing of payments, etc;

(ii) Applicable legal and administrative procedures, including a description of the grievance procedures

and remedies available to PAPs in the judicial process and the execution of these procedures,

including any available alternative dispute resolution mechanisms that may be relevant to

implementation of the RAP for the sub-project;

(iii) Relevant laws ( including customary and traditional law) governing land tenure, valuation of assets

and losses, compensation, and natural resource usage rights, customary personal law; communal laws,

etc related to displacement and resettlement, and environmental laws and social welfare legislation;

(iv) Laws and regulations relating to the agencies responsible for implementing resettlement activities in

the sub-projects;

(v) Gaps, if any, between local laws covering resettlement and the Bank’s resettlement policy, and the

mechanisms for addressing such gaps; and

(vi) Legal steps necessary to ensure the effective implementation of RAP activities in the sub-projects,

including, as appropriate, a process for recognizing claims to legal rights to land, including claims

that derive from customary and traditional usage, etc and which are specific to the sub-projects.

The institutional framework governing RAP implementation generally covers:

(i) Agencies and offices responsible for resettlement activities and civil society groups like NGOs that

may have a role in RAP implementation;

(ii) Institutional capacities of these agencies, offices, and civil society groups in carrying out RAP

implementation, monitoring, and evaluation; and

(iii) Activities for enhancing the institutional capacities of agencies, offices, and civil society groups,

especially in the consultation and monitoring processes.

Eligibility: Definition of displaced persons or PAPS and criteria for determining their eligibility for

compensation and other resettlement assistance, including relevant cut-off dates.

Valuation of and compensation for losses: The methodology to be used for valuing losses, or damages,

for the purpose of determining their replacement costs; and a description of the proposed types and levels

of compensation consistent with national and local laws and measures, as necessary, to ensure that these

are based on acceptable values (e.g. market rates).

Resettlement Measures: A description of the compensation and other resettlement measures that will

assist each category of eligible PAPs to achieve the objectives of OP 4.12. Aside from compensation,

these measures should include programs for livelihood restoration, grievance mechanisms, consultations,

and disclosure of information.

Site selection, site preparation, and relocation: Alternative relocation sites should be described and cover

the following:

(i) Institutional and technical arrangements for identifying and preparing relocation sites, whether rural

or urban, for which a combination of productive potential, location advantages, and other factors is at

least comparable to the advantages of the old sites, with an estimate of the time needed to acquire and

transfer land and ancillary resources;

(ii) Any measures necessary to prevent land speculation or influx of eligible persons at the selected sites;


44

(iii) Procedures for physical relocation under the project, including timetables for site preparation and

transfer; and

(iv) Legal arrangements for recognizing (or regularizing) tenure and transferring titles to those being

resettled.

Housing, infrastructure, and social services: Plans to provide (or to finance provision of) housing,

infrastructure (e.g. water supply, feeder roads), and social services to host populations; and any other

necessary site development, engineering, and architectural designs for these facilities should be described.

Environmental protection and management. A description of the boundaries of the relocation area is

needed. This description includes an assessment of the environmental impacts of the proposed

resettlement and measures to mitigate and manage these impacts (coordinated as appropriate with the

environmental assessment of the main investment requiring the resettlement).

Community Participation: Consistent with the World Bank’s policy on consultation and disclosure, a

strategy for consultation with, and participation of, PAPs and host communities, should include:

(i) Description of the strategy for consultation with and participation of PAPs and hosts in the design and

implementation of resettlement activities;

(ii) Summary of the consultations and how PAPs’ views were taken into account in preparing the

resettlement plan; and

(iii) Review of resettlement alternatives presented and the choices made by PAPs regarding options

available to them, including choices related to forms of compensation and resettlement assistance, to

relocating as individual families or as parts of pre-existing communities or kinship groups, to

sustaining existing patterns of group organization, and to retaining access to cultural property (e.g.

places of worship, pilgrimage centers, cemeteries); and

(iv) Arrangements on how PAPs can communicate their concerns to project authorities throughout

planning and implementation, and measures to ensure that vulnerable groups (including indigenous

peoples, ethnic minorities, landless, children and youth, and women) are adequately represented.

The consultations should cover measures to mitigate the impact of resettlement on any host communities,

including:

(i) Consultations with host communities and local governments;

(ii) Arrangements for prompt tendering of any payment due the hosts for land or other assets provided to

PAPs;

(iii) Conflict resolution involving PAPs and host communities; and

(iv) Additional services (e.g. education, water, health, and production services) in host communities to

make them at least comparable to services available to PAPs.

Grievance procedures: The RAP should provide mechanisms for ensuring that an affordable and

accessible procedure is in place for third-party settlement of disputes arising from resettlement. These

mechanisms should take into account the availability of judicial and legal services, as well as community

and traditional dispute settlement mechanisms.

RAP implementation responsibilities: The RAP should be clear about the implementation responsibilities

of various agencies, offices, and local representatives. These responsibilities should cover (i) delivery of

RAP compensation and rehabilitation measures and provision of services; (ii) appropriate coordination

between agencies and jurisdictions involved in RAP implementation; and (iii) measures (including

technical assistance) needed to strengthen the implementing agencies’ capacities of responsibility for

managing facilities and services provided under the project and for transferring to PAPs some


45

responsibilities related to RAP components (e.g. community-based livelihood restoration; participatory

monitoring; etc).

Implementation Schedule: An implementation schedule covering all RAP activities from preparation,

implementation, and monitoring and evaluation should be included. These should identify the target dates

for delivery of benefits to the resettled population and the hosts, as well as clearly defining a closing date.

The schedule should indicate how the RAP activities are linked to the implementation of the overall

project.

Costs and budget: The RAP for the specific sub-projects should provide detailed (itemized) cost estimates

for all RAP activities, including allowances for inflation, population growth, and other contingencies;

timetable for expenditures; sources of funds; and arrangements for timely flow of funds. These should

include other fiduciary arrangements consistent with the rest of the project governing financial

management and procurement.

Monitoring and evaluation: Arrangements for monitoring of RAP activities by the implementing agency,

and the independent monitoring of these activities, should be included in the RAP section on monitoring

and evaluation. The final evaluation should be done by an independent monitor or agency to measure

RAP outcomes and impacts on PAPs’ livelihood and living conditions. The World Bank has examples of

performance monitoring indicators to measure inputs, outputs, and outcomes for RAP activities;

involvement of PAPS in the monitoring process; evaluation of the impact of RAP activities over a

reasonable period after resettlement and compensation, and using the results of RAP impact monitoring to

guide subsequent implementation.


46

ANNEX 2: Sample Grievance and Resolution Form

Name (Filer of Complaint): __________________________________

ID Number: __________________________________ (PAPs ID number)

Contact Information : __________________________________ (Village ; mobile phone)

Nature of Grievance or Complaint:

_____________________________________________________________________________________

_____________________________________________________________________________________

Date Individuals Contacted Summary of Discussion

____________ __________________ ___________________________ Signature_______________________ Date: ____________

Signed (Filer of Complaint): ______________________________________

Name of Person Filing Complaint :__________________________( if different from Filer)

Position or Relationship to Filer: __________________________________

Review/Resolution

Date of Conciliation Session: ______________________________________

Was Filer Present? : Yes No

Was field verification of complaint conducted? Yes No

Findings of field investigation:

_____________________________________________________________________________________

_____________________________________________________________________________________

Summary of Conciliation Session

Discussion: __________________________________________________________________________

_____________________________________________________________________________________

___________

Issues _____________________________________________________________________________

Was agreement reached on the issues? Yes No

If agreement was reached, detail the agreement below:

If agreement was not reached, specify the points of disagreement below:

____________________________________________________________________________________

Signed (Conciliator): ___________________________ Signed (Filer): ________________

Signed: ___________________________

Independent Observer

Date: ___________________________


47

ANNEX 3: Sample Table of Contents for Consultation Reports

1.0 Introduction.

1.1 Project Description

1.2 Applicable Laws, Regulations, and Policies to Public Engagement

1.3 Project Lenders

2.0 Stakeholder Analysis

2.1 Areas of Influence/Stakeholders

2.2 Description of Stakeholders

3.0 Stakeholder Engagement

3.1 Previous Consultation Activities

3.2 Implemented Community Engagement Activities

3.3 Project Sponsor’s Community Engagement Plan

3.3.1 Phase 1 – Initial Stakeholder Consultation

3.3.2 Phase 2 – Release of the SA Terms of Reference and Draft SLMP

3.3.3 Phase 3 – Release of SA Consultation Summary Report

4.0 Summary of Key Issues

5.0 Future Consultation Events

5.1 Phase 4 – Release of the SA Report and Action Plans

5.2 Phase 5 – RCDAP Planning Consultation

5.3 Phase 6 - Ongoing Project Communication

6.0 Disclosure Plan


48

Tables

Table 2.1: Consultation Activity Summary

Table 3.1: Initial Government Agency Consultations

Table 3.2: Summary of NGO Meetings

Table 3.3: Sub-County Committee Composition

Table 3.4: Summary of Community Discussions

Table 3.5: Local Community Comments

Table 4.1: Summary of Key Issues and Responses

Table 5.1: Summary of Future Consultation Activities per Stakeholder Group

TEMPLATE Table on Consultation Activity Summary

Location and

Communities

Represented

Meeting Dates Attendees Discussion Summary

Example:


49

ANNEX 4: Glossary of Terms

Census A field survey carried out to identify and determine the number of Project Affected Persons (PAPs) or

Displaced Persons (DPs) as a result of land acquisition and related impacts. The census provides the

basic information necessary for determining eligibility for compensation, resettlement, and other

measures emanating from consultations with affected communities and the local government

institutions.

Compensation The payment in kind, cash or other assets given in exchange for the acquisition of land including

fixed assets, is called compensation. These include other impacts resulting from activities to

rehabilitate or cushion the impacts from displacement.

Cutoff Date The cut-off date is the date of commencement of the census of PAPs or DPs within the EASP

program area boundaries. This is the date on and beyond which any person whose land is occupied

for EASP program, will not be eligible for compensation.

Grievance

Mechanism

The RPF contains a grievance mechanism based on policies and procedures that are designed to

ensure that the complaints or disputes about any aspect of the land acquisition, compensation,

resettlement, and rehabilitation process, etc. are being addressed. This mechanism includes a

procedure for filing of complaints and a process for dispute resolution within an acceptable time

period.

Implementation

Schedule

The RPF contains an implementation schedule that outlines the time frame for planning,

implementation, and monitoring and evaluation of the RAPs for sub-projects, if applicable.

Land Land refers to all types of agricultural and/or non-agricultural land and any structures thereon whether

temporary or permanent and which may be acquired by the project.

Land

Acquisition

Land acquisition means the possession of or alienation of land, buildings, or other assets thereon for

purposes of the project.

Project Affected

Persons (PAPs)

or Displaced

Persons (DPs)

Project affected persons (PAPs) or Displaced Persons (DPs) are persons affected by land and other

assets loss as a result of EASP activities. These person(s) are affected because they may lose, be

denied, or be restricted access to economic assets; lose shelter, income sources, or means of

livelihood. These persons are affected whether or not they will move to another location. Most often,

the term DPs applies to those who are physically relocated. These people may have their: standard of

living adversely affected, whether or not the Displaced Person will move to another location ; lose

right, title, interest in any houses, land (including premises, agricultural and grazing land) or any other

fixed or movable assets acquired or possessed, lose access to productive assets or any means of

livelihood.

Project Impacts

Impacts on the people living and working in the affected areas of the project, including the

surrounding and host communities are assessed as part of the overall evaluation of the project.

Project

Implementing

Unit (PIU)

Some projects make use of project implementing units (PIUs), which are generally separate units

within the project recipient’s agency. The PIU is often composed of full time staff devoted to

implementing the project, and have been encouraged to have separate teams with environment and


50

social specialists who can carry out the activities, for example, as outlined in the RPF or RAP.

Rehabilitation

Assistance

Rehabilitation assistance is the provision of development assistance in addition to compensation such

as livelihood support, credit facilities, training, or job opportunities, needed to assist PAPs or DPs

restore their livelihoods.

Replacement

Cost

Replacement cost refers to the amount sufficient to cover full recovery of lost assets and related

transaction costs. The cost should be based on Market rate (commercial rate) according to

Ethiopian laws for sale of land or property. It is normally calculated based on a willing buyer-willing

seller basis, but also applies in Ethiopia to acceptable market valuation or from an assessment from

the Land Commission and government valuer.

Resettlement

Action Plan

(RAP)

The RAP is a resettlement instrument (document) to be prepared when sub-project locations are

identified. In such cases, land acquisition leads to physical displacement of persons, and/or loss of

shelter, and /or loss of livelihoods and/or loss, denial or restriction of access to economic resources.

RAPs are prepared by the implementing agency and contain specific and legal binding requirements

to resettle and compensate the affected people before project implementation.

Resettlement

Assistance

Resettlement assistance refers to activities that are usually provided during, and immediately after,

relocation, such as moving allowances, residential housing, or rentals or other assistance to make the

transition smoother for affected households.

Resettlement

Policy

Framework

(RPF)

The RPF is an instrument to be used throughout the project’s implementation. The RPF sets out the

objectives and principles, organizational arrangements, and funding mechanisms for any resettlement,

that may be necessary during implementation. The RPF guides the preparation of Resettlement

Action Plans (RAPs), as needed, for sub-projects.

Rights and

Entitlements

Rights and entitlements are defined for PAPs and DPs (with the cut-off date) and cover those losing

businesses, jobs, and income. These include options for land-for-land or cash compensation. Options

regarding community and individual resettlement, and provisions and entitlements to be provided for

each affected community or household will be determined and explained, usually in an entitlement

matrix.

Witness NGO or

Independent

Monitor

Some RPFs refer to a witness NGO or an independent monitor that can be contracted to observe the

compensation process and provide an independent assessment of the quality of the process. These are

usually NGOs or other agencies that are not directly involved in the project and have a reputation for

independence and integrity.


51

ANNEX 5: Relevant Laws

Property Rights and Land Rights Law/Regulation

Ownership of land is now vested in the State and Ethiopian citizens have only a use

right (usufruct) over the land. This gives the user ownership of his/her possessions with

the right to benefit from the fruits of his/her labor. This includes crops, perennial crops,

trees for timber etc found on the land or any other permanent fixtures such as

residential houses, business installations, stores and fences, amongst others. This

overturned the 1960 Constitutional degree of private ownership of land.

Public Ownership of Rural

Land (No 31/1975)

In 1975 Ethiopia nationalized urban land and extra houses (Proc. No. 47/1975).

Residents have usage rights, urban centers must take inventory of land and plan

sustainable land use. Urban residents get one plot of land for personal housing.

Proclamation No. 47/1975

A) All urban lands shall be property of the Government. B) Tenant shall be free from

payment to the landowner. C) Any person or family own only a single dwelling.

Proclamation No. 47/1975,

Article 2(3), Article 6(1) and

Article 11(1)

According to these proclamations, land holders have open-ended usufruct rights over

their possessions (i.e. there is no time limit on this usufruct), subject to a proof of

permanent physical residence, ability to farm continuously and should meet

administrative dues and obligations. In rural villages, farm households have a legal

right to possess land through state mandated peasant associations.

Constitution of

Ethiopia (No 1/1987, Article

13(2) and No 1/1995, Article

40(3))

Proclamation No. 89/1997 establishes the principles of rural land administration, which

is devolved to the Regions

states that each Regional Council shall enact a law on land administration,

which is in conformity with the provisions on environmental protection and

federal utilization polices.


"Federal Rural Land

Administration

Proclamation"

Proclamation No. 89/1997 recognizes the lawfulness of "holding rights" over land; Proclamation No. 89/1997

"Federal Rural Land

Administration

Proclamation"

Proclamation No. 89/1997 confirms and details the Constitution principle that holding

rights on land can be assigned to peasants and nomads, and that these are to be secured

from eviction and displacement;


"Federal Rural Land

Administration

Proclamation"

It provides various details with respect to redistribution of land, including that this

redistribution is a Region responsibility

It establishes the possibility for Regions to perceive fees for the use of land and forest.


"Federal Rural Land

Administration

Proclamation"

The leasehold policy (Proc No. 80/1993) allows individuals and companies to attain

access to land through auction, allocation, or lottery.


Article 26 of the Constitution states that "Everyone shall have the right to his privacy Constitution Article 26


52


and physical integrity. This right shall include protection from searches of his person,

his home, his property and protection from seizure of property under his possession."

The 1995 Constitution of the Ethiopia, Article 40(2), 40(4), 40(5) and 40(8) includes

legal frameworks that protect the Ethiopian citizen’s rights to private property and set

conditions for expropriation of such property for state or public interests.

Constitution Article 40(2)




Article 40(3) vests the right to ownership of rural and urban land, as well as of all

natural; resources, in the government and in the peoples of Ethiopia;


Article 40(3) recognizes land as a common property of the Nations, Nationalities of,

and peoples of Ethiopia and prohibits sale or any other exchange of land;


Proclamation N° 89/1997

"Federal Rural Land

Administration

Proclamation"

Article 40(4) guarantees the right of farmers to obtain land without payment and the

protection against eviction from their possession; and


Article 40(5) guarantees the right of pastoralists to free land for grazing and

cultivation as well as the right not to be displaced from their own lands.


Article 40(7) states that "Every Ethiopian shall have the full right to the immovable

property he builds and to the permanent improvements he brings about on the land by

his labour or capital. This right shall include the right to alienate, to bequeath, and,

where the right to use expires, to remove his property, transfers his title, or claim

compensation for it.


Article 41(9) sets out the State responsibilities to protect and preserve historical and

cultural legacies.


The Research and Conservation of Cultural Heritage Proclamation No. 209/2000 of

Ethiopia defines cultural heritage broadly as "anything tangible or intangible which is

the product of creativity and labour of man in the pre-history and history times, that

describes and witnesses to the evolution of nature and which has a major value in its

scientific, historical, cultural, artistic and handcraft content."


Prior approval of the Authority for Research and Conservation of Cultural

Heritage is required to remove from its original site of an immovable cultural

heritage (Art. 21/1).


Article 21/1

Whenever registered, movable cultural heritage is encountered during the

execution of the project it is possible to remove such property by notifying the

Authority in advance (Art. 21/2).


Article 21/2

Zikre Hig Regulation No.6 2002 provides for the lease holding of urban land for a

specified period of time. It regulates the lease period for different functions, grade of

Zikre Hig Regulation No.


53


land and payment of lease. It regulates manners of expropriation of land. It regulates

that land could be expropriated for public use against payment of compensation

6/2002

Several Regions of Ethiopia have taken steps to develop regional land regulations. Regional Land Regulations

Land use Administration

Proclamation, (No

456/2005 Article 17(1))

Eligibility for compensation is discussed in Article 44(2) of the 1995 Constitution and

Proclamation No 455/2005. These two legal documents give entitlement only to those

who have formal legal rights over their holdings (properties).


Proclamation No 455/2005

Proclamation No 455/2005, Article 2 (3) stipulates that “Landholder” means an

individual, government or private organization or any …other …organ which has legal

personality and has lawful possession over the land to be expropriated and owns

property situated thereon.”

Proclamation No 455/2005

Rural Land Administration and Land use Administration Proclamation (No.

456/2005 Article 17(1) gives regional states the power to enact regional laws for rural

land administrations. The regional laws are to be consistent with the Federal

Constitution (No. 1/1995, Article 52(2) (d))


Several regional states (including Amhara, Oromia and Tigray) are now building on

the constitutional provisions to improve security of tenure, albeit within the general

framework of State ownership of land. Leases are being introduced, that would

guarantee lessees a long-term right of usage.

Where leases are concluded between a regional administration and peasant farmers, it

does not seem that these leases are reflected in any cadastral documentation (including

maps) kept at woreda or region level.

Land Tenure

“Non-owners like renters and business are eligible for relocation and other assistance

in finding a new location, compensation at replacement value for any immovable

assets, compensation for loss of income during transition, assistance for physical

transfer and follow-up services.”

Uncited

“People without titles or use right (e.g. squatters, encroachers) will be for specific

assistance. They typically claim use rights or even ownership after occupation of

unused or unprotected lands. They are likely to have invested in structures or land

improvements that are eligible for compensation.”

Uncited


54

Annex 6: Community Consultation Attendance Sheet

Amhara


55


56

Benishangul –Gumz


57


58


59


60

Gambella


61


62


63

Oromia


64


65


66


67


68

SNNP


69


70


71


72


73


74


75


76

Tigray


77


78


79


80


81


82

Adama Community Consultation Attendance Sheet

Date post:	12-Aug-2018
Category:	Documents
Upload:	dothien
View:	242 times
Download:	0 times

MINISTRY OF AGRICULTURE (MoA) - World Bankdocuments.worldbank.org/curated/en/... · MINISTRY OF...

Documents